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Blog Posts in 2014

129 results found. Viewing page 1 of 6. Go to page 1 2 3 4 5 6   Next

To Patch Loophole, FINRA to Provide Insurance Regulators with Monthly Disciplinary Reports

A Wall Street Journal review revealed that when FINRA disciplines a broker for misconduct, the admonished registrant is sometimes able to retain his or her insurance license, even if the broker's ...
Continue reading "To Patch Loophole, FINRA to Provide Insurance Regulators with Monthly Disciplinary Reports" »

LPL, Commonwealth's Angela Marie Borchardt, and Kenneth William Schulz Barred for Customer Impersonation Scheme

FINRA barred former LPL Financial LLC and Commonwealth Financial Network associates Angela Marie Borchardt and Kenneth William Schulz for impersonating a handful of clients, including elderly and ...
Continue reading "LPL, Commonwealth's Angela Marie Borchardt, and Kenneth William Schulz Barred for Customer Impersonation Scheme" »

Wells Fargo Advisors' former advisor, Jeffrey C. McClure, Barred for Taking $88,850 from Elderly Client

FINRA barred former Wells Fargo Advisors, LLC financial adviser Jeffrey C. McClure of Chico, California for taking $88,850 from an elderly client. The alleged misappropriation of funds occurred during ...
Continue reading "Wells Fargo Advisors' former advisor, Jeffrey C. McClure, Barred for Taking $88,850 from Elderly Client" »

Wells Fargo Advisors Fined $1.5 Million for Anti-Money Laundering Failures

FINRA fined Wells Fargo Advisors and Wells Fargo Advisors Financial Network a total of $1.5 million for anti-money laundering (AML) failures related to 220,000 new customer accounts created from 2003 ...
Continue reading "Wells Fargo Advisors Fined $1.5 Million for Anti-Money Laundering Failures" »

Merrill Lynch Fined $1.9 Million, Ordered to Pay $540,000 in Restitution for GM Fair Pricing and Supervisory Violations

FINRA fined Merrill Lynch, Pierce, Fenner & Smith Incorporated $1.9 million and ordered the firm to pay over $540,000 in restitution plus interest for fair pricing and supervisory violations ...
Continue reading "Merrill Lynch Fined $1.9 Million, Ordered to Pay $540,000 in Restitution for GM Fair Pricing and Supervisory Violations" »

Wedbush Ordered to Pay $350,000+ After Losing FINRA Appeal

Wedbush Securities and president Edward Wedbush lost its appeal of a 2012 complaint alleging failure to accurately and timely report earlier customer complaints, employee registration and failures ...
Continue reading "Wedbush Ordered to Pay $350,000+ After Losing FINRA Appeal" »

Medical Research Analyst Michael Dinerman Fined and Suspended for Unauthorized Outside Business Activity

FINRA suspended former Piper Jaffray & Co. GSR and Viking Therapeutics COO Michael Dinerman of San Diego, California, fining him $10,000 for participating in an outside business activity without ...
Continue reading "Medical Research Analyst Michael Dinerman Fined and Suspended for Unauthorized Outside Business Activity" »

FINRA Fines 10 Firms from Barclays to Wells Fargo $43.5 Million for Giving Favorable Research Coverage of Toys"R"Us IPO in Exchange for Banking Business

FINRA fined 10 firms a total of $43.5 million for their roles in allowing equity research analysts to solicit investment banking business in exchange for favorable research coverage in connection with ...
Continue reading "FINRA Fines 10 Firms from Barclays to Wells Fargo $43.5 Million for Giving Favorable Research Coverage of Toys"R"Us IPO in Exchange for Banking Business" »

Joseph Pappalardo Barred for Fraud, Soliciting Investments in Fake Company

FINRA barred former Financial Network Investment Corp. investment products/variable contracts representative Joseph Thomas Pappalardo for making fraudulent and misleading misrepresentations to a ...
Continue reading "Joseph Pappalardo Barred for Fraud, Soliciting Investments in Fake Company" »

David Lawrence Gabai Barred for Deceptive, Fraudulent and Manipulative Schemes

FINRA barred former LPL Financial broker David Larence Gabai of West Hills, California for employing deceptive, fraudulent and manipulative schemes involving the purchase and sale of a security held ...
Continue reading "David Lawrence Gabai Barred for Deceptive, Fraudulent and Manipulative Schemes" »

JP Morgan to Pay $485,000 in Damages for Overly Concentrated Investments

FINRA arbitrators ordered JP Morgan Securities to pay clients $485,000 in compensatory damages for a broker's excessively aggressive investment strategy in the Los Angeles area. The claimants ...
Continue reading "JP Morgan to Pay $485,000 in Damages for Overly Concentrated Investments" »

Tammara Lynne Collins Fined & Suspended for Improperly Altering Annuity Purchase Documents

FINRA suspended LPL Financial LLC representative Tammara Lynne Collins of Carlsbad, California and fined her $5,000 for signing and initialing a customer's name on annuity purchase documents in ...
Continue reading "Tammara Lynne Collins Fined & Suspended for Improperly Altering Annuity Purchase Documents" »

Tony Albert Nessan Fined & Suspended for Improperly Marking Recommended Sales as Unsolicited

FINRA fined and suspended former Euro Pacific Capital, Inc. broker Tony Albert Nessan of Los Angeles, California for incorrectly marking trades on electronic order tickets as unsolicited when Nessan ...
Continue reading "Tony Albert Nessan Fined & Suspended for Improperly Marking Recommended Sales as Unsolicited" »

Swiss HSBC Private Bank Admits Wrongdoing, to Pay $12.5 Million for Providing Unregistered Brokerage in USA

HSBC Private Bank (Suisse) and the Securities and Exchange Commission settled for $12.5 million over charges that the Swiss banking unit provided illegal advisory and other financial services to ...
Continue reading "Swiss HSBC Private Bank Admits Wrongdoing, to Pay $12.5 Million for Providing Unregistered Brokerage in USA" »

Patrick Richard Harrison Barred for Private Securities Transactions That Lost Elderly Clients $340,000

FINRA barred former CUSO Financial Services, L.P. broker Patrick Richard Harrison for engaging in a series of private securities transactions outside of the scope of his employment with CUSO and, as a ...
Continue reading "Patrick Richard Harrison Barred for Private Securities Transactions That Lost Elderly Clients $340,000" »

FINRA Fines Citigroup $15 Million for Supervisory Failures in IPO Research and Non-Public Communications

FINRA fined Citigroup Global Markets, Inc. $15 million for its failure to adequately supervise both internal and external communications related to equity research, furthermore allowing an equity ...
Continue reading "FINRA Fines Citigroup $15 Million for Supervisory Failures in IPO Research and Non-Public Communications" »

SEC Fines Wedbush $2.4 Million for Market Access Violations as FINRA Complaint Awaits

Los Angeles-based Wedbush Securities settled a pending SEC case for $2.44 million for violating the industry's market access rule by failing to have adequate risk prevention controls in place ...
Continue reading "SEC Fines Wedbush $2.4 Million for Market Access Violations as FINRA Complaint Awaits" »

RCS Capital Confirms SEC, FINRA and MA State Regulator Investigations over $23m Error

For the first time since news broke of an $23 million accounting error at an American Realty Capital Properties nontraded REIT, chairman Nicholas Schorsch's sister company, RCS Capital Corp., ...
Continue reading "RCS Capital Confirms SEC, FINRA and MA State Regulator Investigations over $23m Error" »

NASAA Names Top 9 Investor Threats for 2015

The North American Securities Administrators Association (NASAA), whose membership consists of securities administrators across all 50 states, territories, Canada and Mexico, released its top nine ...
Continue reading "NASAA Names Top 9 Investor Threats for 2015" »

OC's Robert Klein, Other Brokers with History of Disciplinary 'Red Flags' Flocking to Hotspots for Misconduct, Elderly Investors

Unscrupulous brokers with histories of various misconduct are swarming to hotspots across the nation that feature populations of elderly and wealthy investors, according to a recent study by The Wall ...
Continue reading "OC's Robert Klein, Other Brokers with History of Disciplinary 'Red Flags' Flocking to Hotspots for Misconduct, Elderly Investors" »

Fidelity, Pershing, Schwab Latest Firms to Suspend Schorsch REIT Sales over $23m Error

Fidelity, Pershin and Schwab have stopped investing in Nicholas Schorsch's American Realty Capital Properties, Inc. nontraded REITs, joining the National Planning Holdings Inc. broker-dealer ...
Continue reading "Fidelity, Pershing, Schwab Latest Firms to Suspend Schorsch REIT Sales over $23m Error" »

Sally Samaris Barred for Failure to Cooperate in Mortgage Fraud Investigation

FINRA barred former Transamerica Financial Advisors, Inc. representative Sally Samaris of Woodland Hills, California for failing to cooperate with an investigation into criminal matters related to a ...
Continue reading "Sally Samaris Barred for Failure to Cooperate in Mortgage Fraud Investigation" »

Massachusetts Regulator Investigating Schorsch's Realty Capital Securities, REIT Sales

The Realty Capital Securities " accounting error " that saw Nicholas Schorsch's company reveal an allegedly deliberate $23 million inaccuracy in reporting—an error that represents ...
Continue reading "Massachusetts Regulator Investigating Schorsch's Realty Capital Securities, REIT Sales" »

Kent George Lehman Barred for Improperly Borrowing From Customers, Failure to Cooperate

FINRA barred former Citigroup, Morgan Stanley & Securian Financial Services, Inc. broker Kent George Lehman of Orange, California for improperly borrowing money from clients and misrepresenting ...
Continue reading "Kent George Lehman Barred for Improperly Borrowing From Customers, Failure to Cooperate" »
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